ASC NEW CAR (Draft) for CAB Consultation

Autumn 2024

Farm Standard Specific Requirement

Feed Standard Specific Requirement

Group Certification Specific Requirement

Requirement Requirement
Reference
Part A General Requirements
Scope
Part A sets out the requirements for all CABs to follow when undertaking certification activities relating to the ASC Programme.
Normative Documents
The documents listed below are part of the CAR. For references without dates or version numbers, the latest edition of the document referred to applies.
• ISO/IEC 17065 Conformity Assessment – Requirements for bodies certifying products, processes and services
• ISO 19011 Guidelines for auditing management systems
• ISO 9001 Auditing Practices Group Guidance on: REMOTE AUDITS

1 General Requirements
Requirements for Accreditation
1.1 The CAB shall not provide certification services related to ASC standards until its application for accreditation has been approved by ASC's appointed integrity services provider.
1.2 The CAB shall not accept more than 5 single-site certification applicants while in the accreditation application process.
1.3 The CAB shall not award ASC certificates within the scope of its accreditation until the CAB is accredited.
1.4 The CAB shall recognise that Clients with a valid certificate issued by other accredited CABs conform to that relevant ASC standard.
Conformity to ASC Requirements
1.5 The CAB shall conform to this document if there are any contradictions or differences with any listed ISO documents. However, it is not intended that these requirements contradict or exclude any requirements from ISO/IEC 17065.

1.6 The CAB shall adhere to all reporting timelines in Appendix D, Table D2.
Compliance with Legal Requirements
1.7 The CAB shall comply with all legal requirements in the countries in which it operates.
CAB Calibration Workshops
1.8 The CAB should participate in workshops and calibration sessions organised by ASC.
1.9 The CAB shall attend ASC’s Annual Programme Managers Event.
Use of ASC Trademarks
1.10 The CAB shall have a signed ASC Certifier Licensing Agreement to use the ASC Trademark or label through [email protected].
Maintenance of the ASC Database
1.11 The CAB shall use the ASC database to submit Client and CAB information relevant to the Certification Process
1.12 The CAB shall maintain the ASC database to ensure it is accurate and up to date with:
1.12 A) Client information.
1.12 B) Auditor details.
1.12 C) CAB details.
Communication with ASC
1.13 All CAB communication with ASC shall be in English.
Confidential Information
1.14 The CAB shall be responsible for overseeing the control and protection of all confidential and personal information submitted to ASC on forms that indicate the information is not subject to public disclosure.
2 Structural Requirements
Mechanism for Safeguarding Impartiality
2.1 In addition to following ISO/IEC 17065, the CAB shall ensure that
2.1 A) Documentation for the mechanism for safeguarding impartiality include procedures that establish the duties and rights of members (e.g., rules for attendance, quorum, and voting) that sign an annual declaration of the absence of conflict of interest.

2.1 B) The mechanism identifies and minimises the risk of impartiality, where products or services previously provided by the CAB or the CAB’s personnel and are still in use by the Client.
Complaints and Appeals
2.2 Following ISO/IEC 17065, the CAB shall ensure that the documented complaints and appeals process:
2.2 A) Includes evaluation of all formal and informal complaints, appeals, concerns or objections related to the activities of the CAB or the Client.
2.2 B) Is publicly available
2.2 C) Includes a description of involvement of the ASC appointed integrity services and ASC; in cases where appeals or complaints escalate beyond the authority of the CAB.
3 Management System Requirements for CABs
Internal Audits
3.1 Internal audits shall be performed at least once every 12 months or completed within a 12-month timeframe if the audit schedule is divided into sections audited throughout the calendar year.
3.2 Internal audits shall cover all ASC requirements in this document in a planned and systematic manner.
 Control of Records
3.3 The CAB shall retain all records and audit evidence associated with the Client for the entire period in which the Client is certified by the CAB and for a minimum of three years after the certification contract is terminated.

Resource Requirements
3.4 The CAB shall employ, either directly or by sub-contracting, enough personnel to cover its operations relating to the ASC programme.
3.5 The CAB shall comply with the qualifications and competencies for the roles described in Appendix E.
3.6 The CAB shall notify Clients of any potential discontinuation of certification services that may impact the Client at least four months prior to the expiry of the Clients certificate.
Maintenance of CAB Personnel Competence
3.7 The CAB shall have a documented procedure to ensure that CAB personnel do not participate in ASC certification services until they have:
3.7 A) The required experience.
3.7 B) Completed the required training
3.7 C) Demonstrated the required competencies for their role as described in Appendix E.
3.8 The CAB shall have an effective process to annually review and verify that these personnel continue to meet the required competency criteria.
Protection of Auditors
3.9 The CAB shall have policies and procedures in place to ensure the safety, protection, and security of their auditors.
4 Conditions for Suspensions and Withdrawals of Accreditation
4.1 If the CAB accreditation is suspended or withdrawn, the CAB shall inform all affected Clients in writing within five days of the date of suspension or withdrawal notification; regardless of any intention of the CAB to appeal the decision.

4.1.1 The CAB shall ensure that ASC is copied on this communication via [email protected].
4.2 The CAB shall permit the suspended or withdrawn status to be published by ASC’s integrity services provider on their website within five days from notification of accreditation suspension or withdrawal.
Part B Operational Certification Requirements
Scope
Part B outlines the operational certification requirements for CABs to follow when auditing Clients and their UoCs against ASC Requirements; from the application phase until the certification decision and throughout the certificate lifetime. It also covers additional procedures
such as transfer of certificates.
Certification Type
There are four types of ASC certification:
A) Single Site
B) Multi-site
C) Group - Option 1
D) Group - Option 2.
The requirements for each certification type are detailed in Table 1 and Table 2 below.

Table 1 Requirements for Single-site and Multi-site Certification Types for ASC Farm and Feed Certification
Table 2 Requirements for Group Certification Types for ASC Farm Certification
1 Application Process
The CAB shall confirm that the Client meets the eligibility criteria to enter the ASC Certification Programme in Section A – Eligibility to Enter the ASC Certification Programme prior to moving forward in the application process.

Eligibility to Enter the ASC Certification Programme

1.1 The Client’s UoC is not eligible to apply for ASC certification if the Client:
1.1.1 Has been successfully prosecuted in the past 24 months for:
1.1.1 A) Fraudulent activities.
1.1.1 B) Use of or involvement in child labour, slavery, human trafficking, or forced labour.
1.1.1 C) Environmental or social compliance violations.
1.1.2 Has had the ASC certificate for this UoC, or site within the UoC, withdrawn by their CAB in the past 12 months.
1.1.2.1 The CAB shall verify any breaches registered at the Client’s UoC and sites, by referring to ASC's Find a Farm or Find a Feed Mill web page.
1.1.3 Has sold product as ASC-labelled from this UoC, or site within the UoC, when the site was not certified in the last 24 months i.e. certification was suspended or withdrawn.
1.1.4 Has had a failed initial audit with any CAB in the past 12 months.
1.1.4.1 The Client may re-apply with the same CAB that conducted the initial failed audit within a 12-month period.
General Client Details
1.2 The CAB shall require that the Client provides the following information as part of the Application Process:
1.2 A) Client name, address, and key contact information.
1.2 B) Details of any activities that are outsourced to third parties which may impact conformity to the ASC Requirements including sub-contracted production, storage, and transport.
1.2 C) Name, physical address (where relevant), and WGS 84 (World Geodetic System EPSG 4326) geographical coordinates (i.e., 52.082478, 5.117676) for each site and facility within the UoC.
1.2 D) Contact information for each site within the UoC.
1.2 E) A map or layout of sites, facilities and all areas to be audited as part of the UoC.
1.2 F) Satellite images with polygons for each site within the UoC.
1.2 G) Production system for each site within the UoC.
1.2 H) H) Production model for each site within the UoC, i.e., mass balance production model/ segregation production model or both.
1.2 I) I)Identification of whether the site is a small scale or large-scale producer for each site within the UoC.
1.2 J) J)The Central Management Body (CMB) name and physical address of where the central IMS processes/activities are planned and controlled.
1.2 K) K)The group organisational structure and detail of the interrelationships between sites and the CMB and between different sites of the UoC.
1.2 L) L)A description of the degree of centralization of process/activities which are relevant to all sites (e.g. purchasing, distribution, harvesting).
Scope of Certification
1.3 As part of the application process, the CAB shall establish the following:
1.3 A) The ASC standard, for which the Client is seeking certification.
1.3 B) For the Farm Standard; the sub-scope.
1.3 C) The certification type (Table 1 and Table 2).
1.3 D) The number of sites and associated facilities within the UoC.
1.3 E) Potential scope exclusions.
1.3 F) The activities performed by the Client’s UoC or by sub-contractors, up to the point where product ownership changes.
1.3 F) i. Production, storage, packing and transport
1.3 F) ii. Stocking, nursing, grow out, transferring, harvest, slaughter, transportation and storage
1.3 G) The sites within the UoC that are applicable for sampling (small scale producers) and those that are not eligible (large scale producers).
1.3 H) Slaughter that occurs at a harvesting site in a well boat is included in the UoC. Slaughter that occurs outside of the UoC shall not be included in the scope of certification.
1.3 I) Processing and/or packing activities shall not be included in the scope of certification
1.4 The CAB may request other information as necessary to assist with establishing the Scope of Certification.
Additional Information
1.5 The CAB shall require the Client to confirm that they have not:
1.6 Had the ASC certificate for the Client’s UoC, or site within the UoC, withdrawn in the past 12 months.
1.6.1 Within the last 24 months, sold product as ASC certified from this UoC, or site within the UoC, when the site was not certified i.e. certification was suspended or withdrawn.
1.7 The CAB shall require the Client to provide a list of stakeholders identified by the Client as having an interest in the ASC stakeholder engagement process.
1.8 The CAB may request other information as necessary to conduct an effective application review.
Information for Client
1.9 The CAB shall provide the Client with a copy of, or a website link to the:
1.9 A) Applicable ASC standard.
1.9 B) ASC CAR (Certification and Accreditation Requirements).
1.9 C) ASC Variance Request & Interpretation Platform.
1.9 D) Use of the ASC Label.
1.9 E) CAB Complaints and Appeals Procedure.
1.9 F) The applicable ASC Group Requirements
1.10 The CAB shall retain evidence of this communication.
Application Review
1.11 The CAB shall review the application to ensure that:
1.11 A) The Client's UoC is not already certified, by checking ASC's Find a Farm or Find a Feed Mill web page.
1.11 A) i. If the Clients UoC is certified, the CAB shall inform the Client to notify their current CAB of their intention to transfer certification as per Section 11 – Certificate Transfer Process.
1.11 B) The information obtained is sufficient to progress with the certification process.
1.11 C) The scope of certification is defined, understood, and agreed between the Client and the CAB.
1.12 If the CAB declines the application for ASC certification following the application review, the reasons shall be documented and clearly communicated to the Client.
2 Certification Agreement
2.1 The CAB shall require the Client to sign a legally enforceable certification agreement which meets the requirements detailed in Appendix F before providing certification services to the Client’s UoC.
2.2 The certification agreement shall be signed by the CAB and Client prior to the announcement of the audit.
3 Audit Preparation and Planning
Preparation - Desk Review
3.1 The CAB shall obtain and review all required information submitted by the Client as specified in the Desk Review Form.
3.2 For Initial Audits, the Desk Review Form shall be fully completed by the Client prior to the CAB’s announcement of the audit and subsequently updated by the Client when changes occur before each:
3.2 A) Routine CAB audit (i.e., Surveillance 1 & 2 and Re-certification audits).
3.2 B) Scope extension audit.
3.2 C) Transfer audit.
3.3 The CABs Management System Auditor (Appendix E) shall review the following for Group audits prior to audit announcement:
3.3 A) IMS policies and procedures.
3.3 B) The most recent Sites Register.
3.3 C) List of personnel responsible for the management and maintenance of the IMS and their functions.
3.3 D) Most recent internal audit report of the IMS against the ASC Group Requirements.
3.3 E) The most recent internal audit reports for the sites under the UoC against the ASC Farm Standard; including all non-conformity findings and evidence of corrective actions.
3.3 F) UoCs GIS polygon data information for each site.
3.3 G) Contract farming agreements and other legal and contractual agreements between the Client and the UoC, if applicable.
3.3 H) Traceability processes and procedures, including the Group's description of production flow from inputs though to dispatch/sales.
3.3 I) Examples of input-output and traceability test exercises
3.3 J) Minutes of the most recent management review meeting.
3.3 K) Received complaints, appeals, and details of their respective resolutions; for the 6 months preceding the initial audit, and between subsequent CAB audits.
3.4 The completed Desk Review Form shall be reviewed by the CAB for audit preparation.
3.4.1 If during the Desk Review the CAB recognises that the Client is significantly unprepared for their initial audit, the CAB may:
3.4.1 A) Decide not to conduct the audit.
3.4.1 B) If so, the CAB shall inform the Client about the decision not to conduct the audit and that further preparation is required before the audit can be conducted.
3.5 A Desk Review form is not required before an unannounced routine CAB audit.
3.6 The CAB may request that the Client complete the Desk Review Form at the start of the unannounced audit to facilitate the audit process.
3.7 The CAB shall review findings and stakeholder submissions raised during or after the previous CAB audit
3.8 The CAB may review other information as deemed necessary.
Planning for Group Audit
3.09 For all routine CAB audits, the CAB shall conduct an on-site audit of the Group’s IMS against the relevant ASC Group Requirements and on-site audits the of the proposed sample number of sites against the ASC Farm Standard.

3.10 During the Initial audit process, CAB shall not reduce the minimum number of sites to be sampled.
3.11 The CAB may increase the number of sites to be sampled if there is increased risk identified during the application, desk review or audit of the UoCs IMS.
3.12 For CAB audits conducted after initial certification, risk classifications, and site sample size may increase or decrease from audit to audit based on the information evaluated in the previous CAB audit and new information gathered between audits.

3.13 The CAB shall record for the rationale for the selection of the risk classifications.
Planning for Group Audit - Option 1 Only
3.14 For the initial audit the CAB shall enter the number of sites within the UoC to the ASC Group - Option 1 sample size calculator and default it to ‘medium risk threat threshold’ to determine the proposed minimum number of sites to be sampled.

Planning for Group Audit - Option 2 Only

3.15 For the initial audit the CAB shall enter the number of small-scale production sites within the UoC to the ASC Group - Option 2 sample size calculator and default it to ‘medium risk threat threshold’ to determine the proposed minimum number of small-scale production sites to be
sampled.
3.15.1 Large scale production sites within the UoC are not eligible for sampling by the CAB. For all routine CAB audits, each large-scale production site shall be audited against the Farm Standard.
Social Interviews
3.16 The CAB shall allocate sufficient time to conduct interviews as per the number of interviews determined by the Desk Review form.
3.17 Employee interviews shall be stratified based on their tasks and background (e.g., gender, type of work – permanent/temporary, type of labour – migrant, temporary seasonal).
3.18 The following UoC personnel shall be interviewed:
3.18 A) Senior management of the UoC or their designate.
3.18 B) Employee representatives, if available.
3.18 C) Employees.
3.18 D) Other relevant personnel (e.g., health & safety, human resources, finance, etc.).
Group Audit IMS Interviews
3.19 The CABs Management System Auditor shall interview a sample of the key personnel responsible for:
3.19 A) The management and maintenance of the Group’s Central IMS,
3.19 B) IMS related audit activities
3.19 C) Conformity decisions
3.19 D) IMS related activities at the sites selected for sample audit
Site Sample Selection for Group Audits
3.20 The CAB’s sample size allocation shall consist of 50% of sites with a medium or high-risk rating and 50% of sites selected at random.
3.21 The 50% of sites selected with a medium or high-risk rating shall be based on the following factors:
3.21 A) Non-conformity findings raised at most recent internal site audit.
3.21 B) Non-conformity findings raised at most recent CAB site audit.
3.21 C) The length of time the site has been certified under the UoC.
3.21 D) Site’s annual production volume.
3.21 E) Site’s relationship with the Client, i.e., owned by the Client, subcontracted, under contract farming agreement.
3.22 For Initial Audits, 20% of the sample selection shall be conducted as unannounced audits.
3.22 A) There shall be no more than two working days’ notice given to the Client prior to the starting date of the unannounced audits.
3.22 B) If the outcome of the unannounced audits has resulted in zero non-conformities raised against the sites, and zero major non-conformities raised against the group’s IMS, the CAB may, for subsequent audits reduce the announced sample size.

3.22 C) No less than 10% of the sample selection shall be conducted as unannounced audits.
3.22 D) The CAB shall not audit the same sites in consecutive CAB routine audits, unless there are clear and justified reasons for doing so.
Audit Duration
***This section is under development. ASC will request feedback from CABs later in 2024***
Provisional Audit Plan
3.23 The CAB shall provide the Client with a provisional audit plan that includes:
3.23 A) Date, time, and details of sites, facilities, and physical areas to be audited (e.g., storage facilities and employees’ living quarters and any other areas as appropriate.).
3.23 B) Scope of the audit
3.23 C) Audit duration.
3.23 D) Names and roles of proposed audit team members.
3.23 E) Timings of any scheduled visits with relevant local Stakeholders where Client assistance is needed.
3.23 F) Medium (e.g., remote in real time, on-site, remote offline).
3.23 G) Expected length of time for each audit activity.
3.23 H) For Group - Option 1 & 2, this shall also include:
3.23 H) i. The provisional number of sites selected for sampling.
3.23 H) ii. The details of the sites selected for sampling shall be provided to the Client no more than 14 days before the start date of the IMS audit.
3.24 The CAB shall have a documented procedure for addressing a Client’s concern about a member of the proposed audit team that reviews and addresses any concerns.
3.24.1 The CAB shall maintain records of the justification for its actions.
Audit Timing
3.25 The exact timing of the CAB routine audits shall be the responsibility of the CAB, in consultation with the Client 1. For initial audits, the site under the UoC shall have been in operation for a minimum period of 6 months, with records consistent with ASC requirements.

3.25.1 For Initial audits, the site shall have completed the previous harvest cycle, with this previous cycle having similar operational conditions to the current cycle.
3.25.2 For Initial audits of long cycle species, the audit may be conducted before the completion of the site initial harvest cycle, providing that the required ASC farm data will be available for CAB evaluation within the prescribed certification decision timelines.

3.25.3 The CAB shall schedule site audits when the sites are in production of the species under the scope of the UoC.
3.25.4 In exceptional cases, the CAB may conduct surveillance or recertification site audits without product on site if:
3.25.4 A) The audit is not an unannounced audit, and
3.25.4 B) The site grows a long cycle species, and
3.25.4 C) The site is fallowing, and
3.25.4 D) The previous audit was conducted with product on site.
3.25.5 For initial audits: the site shall have a functioning Ingredient Accounting System (IAS); and
3.25.6 For initial audits: at least one documented successful IAS balancing exercise shall have been completed. This also applies where a shared IAS is in operation.
3.25.7 For recertification audits: the CAB should conduct the audit at least 6 months before the expiry date of the existing certificate to minimise the risk of a lapse of certification.
3.25.8 For surveillance audits: the CAB shall conduct the audits at least annually within a window of three months before or after the anniversary of the initial certification decision date. No fewer than 2 surveillance audits shall be conducted during the three-year certification
cycle.

3.25.9 The CAB shall schedule audits only when the facilities are in operation and, where possible, producing ASC product. During the audit, the CAB shall assess production intended for sale (i.e., no trial or mock production).
Harvest2- Farm Standard Requirements
3.26 The CAB shall witness harvest for initial and re-certification audits of sites with short production cycles or continuous harvest.
3.27 The CAB shall witness harvest at least once in the 3-year certificate cycle for sites with a long production cycle.
3.28 During every CAB routine audit of the selected sample of sites, harvesting shall be witnessed at least once.
3.29 If harvest is witnessed, the CAB shall document the evaluation of the harvest process for product intended for sale (no trial or mock harvests).
3.30 If more than one species is included in the scope of the certificate (e.g., Whiteleg Shrimp, Litopenaeus vannamei and Giant Tiger Prawn, Penaeus monodon) but not harvested at the same time, the CAB shall verify by sampling of evidence, conformity to ASC Requirements for all
species to be included in the certificate scope.
Planning – Remote Audits
3.31 The CAB may perform audits remotely as per to Section 9 – Remote Auditing.
Audit Announcement
3.32 At least 42 days prior to the audit start date, the CAB shall register the audit announcement on the ASC database for scheduled routine CAB audits of the Client’s UoC, transfer audits and scope extension audits (to add additional sites to an existing UoC).

3.33 If the audit is an unannounced or a follow-up audit, the announcement may be registered on the ASC database less than 42 days before the audit start date.
3.33.1 ASC shall not publish this type of announcement.
3.34 The CAB shall update revised audit announcements on the ASC database within seven days of the revision and no less than 14 days before the audit start date.
3.34.1 The CAB shall clearly identify all updates in the announcement with the reason for the update.
3.35 Before registering an audit announcement, the CAB shall ensure the required documentation for the previous audit cycle has been submitted within the required timelines to the ASC database.
4 Audit Methodology
Opening Meeting
4.1 The opening meeting shall be chaired by the auditor assigned the lead auditor role.
4.1.1 The lead auditor shall be responsible for the specified audit, managing auditors, technical experts, and interpreters.
4.2 The opening meeting shall be held with:
4.2 A) Members of senior management of the UoC.
4.2 B) Relevant personnel responsible for the functions or processes to be audited.
4.2 C) Employee or trade union representatives, if applicable.
4.3 The lead auditor shall confirm:
4.3 A) The scope of certification and any changes that may impact the scope.
4.3 B) The audit plan, audit objectives, and any changes that may impact the audit plan.
4.3 C) The status of findings from the previous audit, if applicable.
4.3 D) The language to be used during the audit.
4.3 E) If there are sub-contracted employees at the site and if so, the number of employees and the work being performed on the day of the audit.
4.4 The lead auditor shall inform the Client that audit evidence:
4.4 A) May be in the form of documents, records, pictures, and other multimedia.
4.4 B) Shall be collected during the audit to relate solely to the applicable ASC requirements.
4.4 C) Shall only be photographed with permission from the Client.
4.5 For auditing social indicators, the lead auditor shall inform the Client that:
4.5 A) There's a necessity for confidentiality when conducting interviews.
4.5 B) Employees shall not be discriminated against for taking part in interviews; irrespective of the nature of their job.
Communication During the Audit
4.6 During the audit, the lead auditor shall convene brief meetings with the audit team to monitor audit progress and exchange information.
4.6.1 Any changes that impact the audit plan shall be communicated to the Client.
4.7 The lead auditor shall review with the Client any need for changes to the scope of certification that became apparent as auditing activities progress.
4.7.1 If there is a significant impact on the audit process, the lead auditor shall report this to the CAB to determine whether activities can be assessed during the audit, or an additional audit is required.
4.8 When appropriate3, audit findings should be reviewed with the Client at time of detection and not only at the closing meeting to ensure that the:
4.8 A) Evidence to support any findings is accurate.
4.8 B) Findings are understood4 by the Client.
4.8.1 If clarification or further discussions are required, a pre-closing meeting with senior management may be held.
Audit Evidence
4.9 The auditor shall collect all audit evidence relevant to the audit objectives, scope and criteria, including information relating to interfaces between functions, activities and processes.
4.10 Methods to obtain audit evidence may include:
4.10 A) Observation of processes and activities.
4.10 B) Review of data, documentation, and records.
4.10 C) Interviews.
4.11 The auditor shall verify audit evidence by appropriate sampling considering:
4.11 A) Size and complexity of the UoC.
4.11 B) Number of batches/products produced by the UoC annually.
4.11 C) Number of employees.
4.11 D) Number of inputs and suppliers used by the UoC.
4.12 The auditor shall conduct a traceability test and input/output exercise of a representative sample of batches sold by the UoC following instructions in the audit report.
4.12.1 The auditor shall conduct a traceability test and input/output exercise on at least 5% of batches sold by the UoC in the previous 12 months from the audit start date.
4.12.2 If the number of batches is higher than the number of sites selected for sampling as determined by the ASC Group - sample size calculator. The batch sample size shall at least equal the number of sites as determined by the calculator.

4.12.3 The selection can include the sites in the audit sample or different sites within the UoC
4.13 The auditor shall also record:
4.13 A) Details of the outcome of the traceability tests and input/output exercises.
4.13 B) Potential or identified risks to the traceability system.
4.13 C) A determination of whether the traceability systems are sufficient to maintain the traceability and segregation of certified product back to the site’s production and forward to the point of sale.
4.13 D) Rationale for determination.
4.13 E) The intended point of first sale.
4.14 The auditor shall verify the accuracy of the sites’ polygons prepared by the Client in accordance with ASC's GIS submission procedures.
Tour of the UoC
4.15 Every on-site audit shall include a site tour to review and observe implementation of ASC requirements.
4.16 For auditing social indicators, the tour shall include:
4.16 A) All work areas, irrespective of the presence of employees in the area on the day of the audit.
4.16 B) Storage facilities.
4.16 C) Accommodation facilities for employees.
4.16 D) On-site hospital/clinic.
4.16 E) Any kitchen and dining areas.
4.16 F) The perimeters of production and any other areas as appropriate.
4.17 During the tour, the auditor shall:
4.17 A) Conduct employee interviews.
4.17 B) Identify all hazards and potentially dangerous areas of work.
4.17 C) Collect information where possible (e.g., pictures of notices) to later corroborate information provided prior to or during the audit.
Document and Records Review for Auditing Social Indicators
4.18 When selecting samples for records review, the auditor shall consider different types of:
4.18 A) Employees (full time, contractual, seasonal, migrants).
4.18 B) Payment methods (hourly rate, piece rate, monthly rate) as appropriate.
4.19 Auditing of personnel records (e.g., time sheet and pay records) shall be based on risk and the auditor's professional discretion.
4.20 For each employee interviewed, personnel shall be reviewed.
4.20.1 Personnel records shall only be reviewed on-site.
Conducting Social Interviews
4.21 The social auditor shall ensure confidentiality while speaking with employees.
4.22 The auditor shall maintain records of all interviews conducted during an audit as audit evidence.
4.23 Employee interviews should take place on-site.
4.23.1 Off-site interviews may be conducted at the auditor's professional discretion.
4.24 All employee interviews shall be conducted in a quiet, private area away from management offices and without the presence of management representatives or personnel in supervisory roles.
4.25 Casual interviews should also take place during the tour of the UoC.
4.25.1 If requested by the employee, interviews shall be conducted in the presence of a trade union member.
4.26 To provide additional confidence and a method of communication, employees interviewed shall be provided with ASC's contact information.
4.27 During the audit, the lead auditor may decide to increase the number of interviews.
4.27.1 Justification for increases and stratification of interviews shall be documented in the audit report.
Audit Findings
4.28 Audit findings summarising conformity and detailing non-conformity shall be identified and recorded to support an informed certification decision.
4.29 All non-conformity findings shall be recorded against a specific requirement with a clear statement of the non-conformity which identifies, in detail, the objective evidence on which the non-conformity is based.
4.30 Non-conformities shall be graded as minor, major or critical according to the definitions given in Appendix C and clearly justify the grading in the audit report.
4.31 The non-conformity detection date shall be set as the date of the closing meeting; where all non-conformities are presented to the Client.
4.32 If the audit being conducted is during the validity period of a certificate, the auditor shall verify the effectiveness of implemented corrections and corrective actions for open, closed and extended non-conformities raised during or after the previous CAB audit.

4.33 The auditor shall refrain from suggesting a root cause of non-conformities, potential corrections, or corrective actions.
4.34 If a site non-conformity is identified by the CAB during sample site auditing, the CAB shall grade the non-conformity according to the definitions given in Appendix C, Table C1 and record it against the specific Farm Standard Requirement and relevant sites.

4.34.1 The CAB shall determine if the non-conformity is:

4.34.1 A) An isolated non-conformity which does not indicate failure of the Group’s IMS, OR
4.34.1 B) A systemic non-conformity raised against more than 1 site , which indicates likely failure of the Group’s IMS
4.35 If the non-conformity is determined to be systemic, the CAB shall grade the group non-conformity according to the definitions given in Appendix C, Table C2 and record the non-conformity against the appropriate ASC Group IMS Requirement.

Closing Meeting
4.36 A formal closing meeting shall be chaired by the lead auditor and held with:
4.36 A) Members of senior management of the UoC.
4.36 B) Relevant personnel responsible for the functions or processes that were audited.
4.36 C) Employee or trade union representatives, if applicable.
4.37 Attendance shall be recorded to include attendee name and job title.
4.38 The lead auditor shall advise the Client that the audit evidence obtained was based on a sample of the information; thereby introducing an element of uncertainty inherent in the audit process.
4.39 The auditor shall present the audit findings and re-confirm the non-conformities and their grade in a manner that is understood by the Client.
4.39.1 The auditor shall inform the Client that the findings and their grading will be reviewed as part of the CAB’s independent certification process.
4.40 A documented copy of non-conformities presented during the closing meeting shall be provided to the Client by the auditor on the day of the closing meeting or within one working day of the closing meeting.
4.41 The auditor shall inform the Client that, for each identified non-conformity, they shall provide the CAB with:
4.41.1 Within 28 days from the audit closing meeting, a corrective action plan identifying:
4.41.1 A) The root cause of the non-conformity.
4.41.1 B) The corrections taken to address the non-conformity.
4.41.1 C) Corrective action taken to eliminate the root cause of the non-conformity and prevent recurrence.
4.41.2 Supporting objective evidence demonstrating effective implementation of corrective action plan within the timelines detailed in Appendix C, Table D5.
Non-conformity Follow -up
4.42 If a non-conformity grading is changed as part of the CAB’s independent certification process, the detection date shall not be changed.
4.43 Critical and major non-conformities shall not be downgraded after the independent certification process has confirmed the non-conformity grade.
4.44 The CAB may extend the non-conformity closure timeframe as per Appendix C, Table C3 if:
4.44 A) The CAB has received the Client’s corrective action plan.
4.44 B) The Client’s corrective action plan provides sufficient evidence demonstrating additional time is needed to execute the associated corrective actions.
4.44 C) The additional time needed is due to circumstances related to the species production cycle.
4.45 The CAB shall close the non-conformity if the CAB determines that the evidence provided demonstrates effective implementation, except for critical non-conformities.
4.46 To close a critical non-conformity, the CAB shall conduct an on-site revisit to evaluate the effectiveness of implemented corrections and corrective actions
On-site Revisit
4.47 The CAB may perform an on-site revisit to evaluate the effectiveness of implemented corrections and corrective actions for any grade of non-conformities.
4.48 On-site revisits shall be scheduled to occur within the timeframe allowed for the closure of non-conformities.
4.49 Revisits should be conducted by the original auditor and audit team, if possible.
4.49.1 If this is not possible, the visit must be undertaken by a qualified ASC auditor whose competencies cover the scope of the revisit.
Non-Conformities Raised After the Closing Meeting or Between Audits
4.50 The non-conformity shall be recorded against a specific requirement.
4.51 The non-conformity detection date shall be set as the date the non-conformity was reported to or discovered by the CAB.
4.52 The CAB shall grade the non-conformity according to the definitions given in Appendix C and set the timelines as per Appendix C, Table C3.
4.53 The CAB shall inform the Client in writing of the non-conformity detailing the grade, detection date, and the necessity to provide a corrective action plan as per Requirement 4.45.
4.53.1 The CAB shall evaluate the Client’s corrective action plan.
4.53.2 If the CAB decides to maintain the Client’s certification, document the non-conformity in the subsequent audit report under the ‘Previous NC findings’ tab to ensure verification of corrections, effective corrective actions and closure of the finding at the next scheduled CAB audit.

Sampling and Testing

4.54 ASC may request that CABs collect samples of seafood, feed, feed ingredients, or other substances during ASC audits to verify a UoCs conformance to the relevant ASC Standard.
4.55 The CAB may collect samples at its discretion based on observations and evidence collected during the audit.
4.56 In each case, the CAB shall follow the ASC Sampling Procedure.
4.57 The CAB shall record in the audit report the following information where samples are taken during an audit:
4.57 A) Justification for sampling.
4.57 B) Whether sampling was announced or unannounced.
5 Audit Reports and Technical Review
Audit Reports
5.1 The CAB shall ensure the audit report is prepared in English using the latest version of the ASC audit report template.
5.2 The CAB shall upload all audit reports, including unannounced audit reports, to the ASC database.
5.3 The CAB shall use the Confidential Appendix worksheets of the ASC audit report template for any sensitive and confidential information.
5.3.1 The public version of the audit reports shall have a clear reference to the items which are in the confidential Appendices.
5.3.2 Confidential Appendices will not be published by ASC.
5.4 The CAB shall upload audit reports for failed audits or audits that resulted in the suspension, cancellation, or withdrawal of a certificate to the ASC database.
5.5 The CAB shall upload summaries of non-conformities where a formal closing meeting was not conducted, and the audit was terminated to the ASC database.
5.6 The lead auditor shall be responsible for the audit report content.
5.7 The lead auditor shall ensure that:
5.7 A) There is a record of the audit evidence evaluated for each relevant indicator and applicable requirements in the audit report.
5.7 B) It is made sufficiently clear within the final audit report when a re-visit takes place to close outstanding non-conformities.
5.7 C) The audit report is completed following the format and requirements of the ASC audit report template.
5.7 D) The audit report provides an accurate, concise, and clear record of the audit to enable an informed certification decision.
5.7 E) The audit report contains sufficient detail to ensure audit evidence is reproduceable.
5.8 The lead auditor shall address all issues raised by the technical reviewer.
Technical Review
5.9 For initial and re-certification audits, a technical review shall be completed for all draft audit reports
5.9.1 For final audit reports, technical review shall be completed for any revised content or additional details added since the draft audit report.
5.10 For surveillance audits, technical review shall be completed for all final audit reports.
5.11 Technical review shall be conducted by a person or group of persons who:
5.11 A) Was not directly involved in the audit process.
5.11 B) Meet the competency criteria in Appendix E, Table E10.
5.12 Before submission of a draft audit report to ASC for publishing, a technical review shall be conducted to ensure that:
5.12 A) The information provided by the audit team is sufficient with respect to ASC requirements and the scope of certification.
5.12 B) Each section of the audit report is complete and accurate.
5.12 C) Each non-conformity is reviewed for its grading justification based on the presented evidence.
5.13 If requested, the CAB shall provide a copy of the draft audit report to the Client prior to publishing.
5.13.1 This request shall not impact the CAB’s reporting timelines.
5.14 Final audit report technical review shall include evaluation of the Client's:
5.14 A) Corrective action plans with identified root causes.
5.14 B) Corrections and corrective actions.
5.14 C) Supporting objective evidence of implementation.
6 Certification Decisions
Certifiers
6.1 The certification decision shall be conducted by a designated person or group of persons5 that have not been involved in the audit process.
6.1.1 The certification decision shall consider all information related to the audit including:
6.1.1 A) The outcome of the technical review.
6.1.1 B) Audit evidence.
6.1.1 C) Feedback submitted by stakeholders.
Decisions and Timelines
6.2 The CAB shall make a certification decision within a maximum of six months from the date of the audit closing meeting (non-conformity detection date).
6.3 The CAB shall conduct a full re-audit if timeframe in Requirement 6.2 is exceeded.
6.4 The CAB shall not make a positive certification decision if there is:
6.4 A) An open major or critical non-conformity.
6.4 B) An open minor non-conformity that has not been extended.
6.4 C) An open variance request.
6.4 D) Not complete end of production cycle data required by the standard, for the relevant species on a site running its first production cycle.
6.5 The CAB shall record dates and details of each certification decision including any additional information or clarification sought from the audit team or other sources.
6.6 The CAB shall register all certification decisions, including changes to scope, suspensions, cancellation, and withdrawals on the ASC database within seven days of the decision.
6.7 The CAB shall retain the right to delay or postpone the certification decision to consider new or additional information which may affect the certification decision.
6.7.1 The reason for such delays shall be recorded in the final audit report together with the details of the new or additional information.
6.7.2 New or additional information may include input provided by stakeholders.
6.8 The CAB shall register delays affecting the planned certification decision date by more than 14 days on the ASC database.
6.9 The CAB shall issue certificates with a maximum validity period of three years from the certificate issue date.
6.10 Certificates that are not published on the ASC website are not valid.
7 Certificate Content, Certificate Scope Exclusions and Extension of Validity
Certificate Content
7.1 The CAB shall issue a certificate in English using the ASC certificate template.
7.1.1 The certificate format may be altered to suit the CAB needs; however, the content shall remain unchanged.
Certificate Scope Exclusions
7.2 The exclusion of batches or production units from the scope of certification shall be permitted if the entire site conforms to all other applicable requirements in the ASC Farm Standard.
7.3 The CAB may permit a site within the UoC to produce ASC-certified and non-ASC-certified product in cases where specific, identifiable batches or production units do not conform with ASC Farm Standard indicators XXXX
** According to the latest ASC Farm Standard draft, this will only be applicable to exceedance of antibiotics**

7.3.1 The CAB shall not apply Requirement 7.3 for the certification type Group-Option 2.
7.4 Product from the excluded batches or production units shall not be identified or sold as ASC certified product.
7.5 Batches or production units that fulfil the conditions in Requirement 7.3 shall be considered as a Certificate Scope Exclusion.
7.6 Details of these site-specific, identifiable batches or production units shall be recorded in the audit report and up-to-date details shall be maintained in the ASC Certificate’s scope.
Extension of Certificate Validity
7.7 The CAB may extend the validity of a certificate once by up to three months if:
7.7 A) The CAB issued the current certificate.
7.7 B) The Client has submitted their application to the CAB for re-certification.
7.7 C) The application has been accepted by the CAB before the current certificate expiry date.
7.8 The CAB shall upload the extended certificate and complete the certificate extension request to the ASC database before the expiry date of the current certificate.
8 Stakeholder Engagement Process
8.1 The CAB shall maintain a stakeholder database, per country and species, of all relevant stakeholders.
8.2 The stakeholder database shall include stakeholders identified by the Client and stakeholders who have expressed an active interest in engaging on a particular audit.
8.3 The stakeholder database may be updated at any point in the certification process if new stakeholders have been identified.
8.4 At the audit announcement stage for initial and re-certification audits, relevant stakeholders shall be formally invited to participate in stakeholder consultation.
8.5 Stakeholder consultation may be conducted during surveillance audits.
8.6 Prior to an unannounced audit, the CAB may choose whether to notify relevant stakeholders.
8.7 If a stakeholder provides feedback (whether written or verbal), the CAB shall acknowledge receipt and determine whether the stakeholder wishes to engage further in the consultation process.
8.8 Stakeholder consultation shall be scheduled at the convenience of the CAB and stakeholder prior to the closing date of the audit.
8.9 The Client shall not be present during stakeholder consultation.
8.10 Stakeholder consultation may be conducted remotely or in-person as part of the audit process.
8.11 The CAB shall respond in writing to all stakeholder feedback, detailing how their comments were addressed, before the final audit report is published.
8.12 The CAB shall request permission to publish a summary of the stakeholder feedback and the actions taken in response.
8.12.1 If stakeholder does not grant permission, the CAB shall retain this information within the audit report Confidential Appendix which shall not be published.
8.13 The CAB shall maintain a publicly accessible mechanism for stakeholders to provide feedback between CAB audits and outside of the period of the stakeholder engagement process.
8.13.1 The CAB shall respond to the stakeholder, confirming how their feedback will be considered in the next the CAB audit.
9 Remote Auditing
9.1 The CAB shall refer to the latest version of ‘ISO 9001 Auditing Practices Group Guidance on: Remote Audits’ when remote auditing using Information and Communication Technology (ICT).
9.2 To prepare for the use of ICT, all certification, legal and Client requirements related to confidentiality, security, and data protection should be identified and actions should be taken to ensure their effective implementation.

9.3 Both the CAB and Client shall agree to the use of ICT for audit purposes and determine if additional agreements are required.
9.3.1 If an agreement is not reached, the CAB shall revert to an on-site audit approach.
9.4 The CAB shall test the ICT selected during the audit planning stage in advance of the remote audit to confirm both parties have the necessary infrastructure to support the use of the ICT proposed.
9.5 Contingency plans should be considered including provision for additional audit time, if necessary.
9.6 If employee interviews are conducted remotely, the CAB shall ensure the ICT and the method of interview is appropriate to protect confidentiality of the interviewees.
9.6.1 The CAB shall obtain consent from the interviewees to be interviewed using ICT.
9.7 Remote audit evidence presented in the form of video, photograph, or live streaming shall be verified as being accurate to the specific UoC under remote evaluation (e.g., by geotagging).
9.8 The CAB shall not conduct a remote audit if:
9.8 A) It is the initial audit of the Client’s UoC.
9.8 B) It is a re-certification audit of the Client’s UoC6.
9.8 C) The Client’s certificate or a site under the UoC is suspended.
9.8 D) The previous CAB audit of the Client’s UoC was conducted remotely.
9.8 E) There were five or more major non-conformities raised at the previous audit of the Client’s UoC.
9.9 If the audit includes auditing of social indicators, the CAB shall not conduct the audit remotely if:
9.9 A) An interpreter is required to translate during interviews.
9.9 B) The country risk is ‘High’ according to the ASC Country Social Index.
9.10 The CAB shall not conduct remote audits of the Group’s IMS, or sample sites selected for audit.
10 Unannounced Audits
10.1 The CAB shall conduct annual unannounced audits on:
10.1.1 At least 10% of sites (rounded down to the nearest whole number) certified under Single Site and Multi-Site certification.
10.1.2 At least 5% of sites (rounded down to the nearest whole number) certified under Single Site and Multi-Site certification.
10.2 CABs with 107 or fewer sites certified under Single Site and Multi-Site certification are not required to conduct unannounced audits.
10.3 Unannounced audits shall not be conducted on long-cycle UoC where there is no product on site (i.e., the site is fallow).
10.4 CABs shall plan unannounced audits to ensure they are distributed throughout the year to align with the CAB's audit schedule.
10.5 The CAB shall have a risk-based approach to the selection of sites that will receive an unannounced audit.
10.5.1 If through using this approach the CAB determines that a greater number of unannounced audits are appropriate, the number of unannounced audits may be increased.
10.6 The risk-based approach shall include consideration of the following risk factors:
10.6 A) Non-conformity findings raised at most recent CAB site audit.
10.6 B) The length of time the site has been certified under the UoC.
10.6 C) Site’s annual production volume.
10.6 D) Site’s relationship with the Client, i.e., owned by the Client, subcontracted, under contract farming agreement.
10.7 If most Clients are categorised as low risk, unannounced audits shall be assigned to the high-risk sites, and the remaining required unannounced audits assigned to low-risk sites selected randomly or aligned with other audits.

10.8 There shall be no more than two working days’ notice given to the Client prior to the starting date of an unannounced audit.
10.8.1 Exceptions of five working days’ notification may be made for sites which require complex logistics to access the site (e.g., rental or arrangement of boats, helicopters, planes).
10.9 The CAB may perform an expedited, unannounced audit of a client's site in response to unforeseen events, such as incident reports from the integrity services provider or feedback from stakeholders.
10.9.1 The CAB shall register the audit announcement on the ASC database within 24 hours of deciding to conduct the audit.
10.9.2 There shall be no public announcement, and the Client shall be given no more than two working days’ notice, unless Requirement 10.8 applies
10.10 The CAB shall plan a second unannounced audit if the Client refuses the unannounced audit but has an acceptable justification (e.g., responsible personnel not available, poor weather conditions, etc.).
10.11 The CAB shall suspend the certificate if the Client refuses the unannounced audit for a second time.
10.11.1 The CAB shall lift the suspension only after the unannounced audit is completed, and any major and critical non-conformities are closed.
11 Certificate Transfer Process
Transfer of Certification
11.1 Transfer of certification is the recognition of an existing and valid certification granted by one CAB, (hereinafter referred to as the ‘previous CAB’), by another CAB, (hereinafter referred to as the ‘new CAB’) for the purpose of issuing its own certification.

11.2 Both the previous CAB and new CAB shall respect the certificate transfer process and shall co-operate with the Client during this process.
11.3 The previous CAB shall not suspend or withdraw the certificate if the Client continues to satisfy the requirements of certification.
11.4 A certificate shall be transferred only once within the validity period of a certificate, unless the previous CAB has had its accreditation for ASC activities suspended or withdrawn.
11.5 A certificate shall not be transferred if:
11.5 A) The Client’s certificate or sites under the certificate are suspended.
11.5 B) There are open critical or major non-conformities raised against the UoC.
11.5 C) There is an open integrity investigation associated with the Client’s UoC.
Pre-Transfer Process for Previous CAB and New CAB
11.6 When a Client contacts a new CAB requesting a transfer of certification, the selected new CAB shall confirm that the Client’s:
11.6 A) Certification falls within the new CAB’s accreditation scope.
11.6 B) Previous audit cycle has been completed.
11.7 Once Requirement 11.6 is confirmed, the new CAB shall advise the Client to formally notify the previous CAB of its intention to transfer its certificate in writing and include the new CAB in this notification.
11.7.1 The Client shall also provide written permission for the previous CAB to share required UoC information which is not publicly available on the ASC website with the new CAB.
11.7.2 The new CAB shall register this notification date on the ASC database within seven days of the formal notification.
11.8 Within 14 days of the Client’s formal transfer notification, the previous CAB, shall share required UoC information with the new CAB, which is not publicly available on the ASC website.
11.8.1 This information shall include:
11.8.1 A) Non-conformity status with:
11.8.1 A) i. Any associated findings identified by ASC’s integrity services provider.
11.8.1 A) ii. Corrective action plans.
11.8.1 A) iii. Corresponding evidence of implementation.
11.8.1 B) Audit report confidential Appendices.
11.8.1 C) List of relevant stakeholders.
11.9 The new CAB shall review the documentation received from the previous CAB.
11.9.1 This document review shall include:
11.9.1 A) The most recent audit report
11.9.1 A) i. If the most recent audit report is a surveillance audit report, the new CAB shall also review most recent initial certification or most recent re-certification audit report.
11.9.1 B) The status of all open non-conformities.
11.1 Based on the outcome of the documented review, the new CAB may decide to decline or accept the transfer of certification.
11.10.1 If the transfer of certification is declined, the new CAB shall maintain a record of the rationale for the decision and inform the Client and previous CAB of their decision.
11.10.2 If the transfer of certification is accepted, the new CAB, previous CAB, and Client shall agree a transfer date.
11.11 The transfer of certification date shall occur within three months of the Client’s formal transfer notification.
11.11.1 The new CAB shall register this transfer of certification date on the ASC database within seven days of agreement of transfer date.
11.11.2 The new CAB shall require the Client to sign a legally enforceable certification agreement before the transfer of certification date.
Transfer of Certification Process for New CAB
11.12 Within the period between the acceptance of the transfer of certification and the agreed transfer of certification date the new CAB shall conduct:
11.12 A) An administrative transfer, or
11.12 B) The subsequent routine CAB audit as the transfer audit, if it is due within this three-month window, or
11.12 C) A transfer audit covering the full requirements of the relevant ASC standard.
11.13 The new CAB shall record the rationale for the decision to conduct either a full transfer audit, routine transfer audit, or an administrative transfer.
11.14 If the new CAB conducts a routine transfer audit or an administrative transfer, the new CAB shall maintain the previous CAB’s routine audit schedule non-conformity closure and certificate cycle dates.
11.15 If the new CAB conducts a transfer audit to the full requirements of the relevant ASC standard (i.e., following the re-certification process), they may re-set the routine audit schedule and certificate cycle dates.
11.16 If previous CAB has had its accreditation withdrawn or suspended, the transfer of certification shall be completed within six months or by the expiry date of the Client’s certificate, whichever is sooner.
11.17 All rights and obligations for maintaining the certificate shall be transferred from the previous CAB to the new CAB on the transfer of certification date.
12 Audit Termination
12.1 The CABs lead auditor shall terminate an audit and inform the CAB where it is confirmed that:
12.1 A) Attempts are made to bribe any member of the audit team or
12.1 B) Members of the audit team are threatened.
12.2 If Requirement 12.1 occurs during an Initial Audit, the CAB shall classify the audit as a failed audit, and the CAB shall not award certification.
12.2.1 The CAB shall notify the Client in writing they are not permitted to re-apply for certification to the ASC programme for at least 24 months from the date of audit termination.
13 Cancellation, Suspension and Withdrawal of Certification
13.1 If the CAB discovers breaches of ASC requirements (e.g., certification process, standard or contractual requirements) the CAB shall determine the appropriate action to:
13.1 A) Suspend the certificate, or site under a certificate, or
13.1 B) Withdraw the certificate, or site under a certificate.
13.2 The CAB may also suspend or withdraw a certificate for its own contractual or administrative reasons.
13.3 If the CAB receives a voluntarily withdrawal request from a Client, the CAB shall cancel the certificate, or site under a certificate if the Client meets the Requirement 13.8.
13.4 The date of the suspension or withdrawal shall be the date the decision was made by the CAB.
13.5 The CAB shall register cancellation, suspension, or withdrawal of certificates or sites under the certificate, within seven days of the decision in the ASC database.
13.5.1 ASC will update the registered status on the ASC website within seven days.
13.6 If a certificate or site under a certificate is suspended, withdrawn, or cancelled, the CAB shall, within 48 hours of the change of certificate or site status, instruct the Client in writing:
13.6.1 To not to sell any product harvested from the date of suspension, withdrawal or cancellation as ASC certified or with the ASC logo or trademark or claim.
13.6.2 To not to sell any product produced from the date of suspension, withdrawal or cancellation as ASC compliant or with the ASC logo, trademark or claim.
13.6.3 In the case of suspension or cancellation, the CAB shall advise the Client that failure to follow instructions in Requirement 13.6.1 and Requirement 13.6.2 will result in withdrawal of the certificate or site under the certificate for a period of 24 months from the detection
date of the failure.
13.6.4 To advise existing customers in writing of the suspension, withdrawal or cancellation within 4 days of CAB notification.
Cancellation
13.7 If a Client submits a formal request to voluntarily withdraw a certificate or site under a certificate from the ASC Programme; the CAB shall cancel the certificate or site if it:
13.7 A) Is not currently suspended.
13.7 B) Does not have any open major or critical non-conformities.
13.7 C) Does not have any open data requests from ASC or its appointed integrity service provider.
13.8 If the Client’s UoC or site under the UoC does not meet the above conditions and the Client does not wish to continue with certification, the CAB shall withdraw the associated certificate or site.
Suspension
13.9 The CAB shall suspend the certificate or site under the certificate if:
13.9 A) Major non-conformities are not closed or extended within the initial closure timeframes as specified in Appendix C, Table C3, OR
13.9 B) A critical non-conformity is raised. Refer to Appendix C, Table C3. OR
13.9 C) The Client refuses an unannounced audit for a second time. The CAB shall only lift the suspension when an unannounced audit is completed, and any major and critical non-conformities are closed.
13.10 The CAB shall suspend the certificate and all sites under the certificate if the CAB raises a Group Critical non-conformity against the ASC Group IMS Requirements.
13.11 If a certificate or site under the certificate is suspended, the CAB shall set a maximum deadline of 6 months from the date of suspension decision for the Client to satisfactory address the causes that led to the suspension.

13.11.1 If the certificate expires within this six-month period, the suspension deadline shall be set as the certificate expiry date.
13.12 The suspension deadline shall not be extended.
13.13 Before lifting a suspension, the CAB shall verify and register on the ASC database that the Client followed Requirement 13.6
13.14 The decision to lift a suspension shall be registered on the ASC database within seven days from the decision date.
13.15 The CAB shall withdraw the certificate or site under the certificate if actions are not satisfactorily completed by the set suspension deadline.
Withdrawal
13.16 The CAB shall withdraw the certificate if:
13.16 A) The Client presents forged documents as evidence to the CAB, ASC, or ASC’s appointed integrity services provider.
13.16 B) The Client is successfully prosecuted for:
13.16 B) i. Carrying out fraudulent activities confirmed by the statutory authority
13.16 B) ii. Child labour, slavery, human trafficking, or forced labour
13.16 C) Where Requirement 12.1 has occurred
13.16 D) If the Client is discovered not following Requirement 13.6.
13.17 If Requirement 13.16 applies, CAB shall notify the Client in writing they are not permitted to reapply for certification to the ASC programme for at least 24 months from the date of withdrawal.
13.18 The CAB shall withdraw the certificate if the:
13.18 A) Client’s critical non-conformity is not closed or extended within the initial closure timeframes as specified in Appendix C, Table C3.
13.18 B) Actions required to lift a suspension have not been executed within the suspension timelines as prescribed by the CAB.
13.18 C) Client fails to conform to an indicator where the critical non-conformity grade is specifically prescribed in the ASC Standard.
13.19 The CAB shall withdraw the certificate and all sites under the certificate if the Group Critical non-conformity is not closed or extended within the initial closure timeframes as specified in Appendix C, Table C3
13.20 If Requirement 13.18 applies, the CAB shall notify the Client in writing they are not permitted to re-apply for certification to the ASC programme for at least 12 months from the date of withdrawal.
14 Changes to Scope of Certification
14.1 Changes to scope of certification may:
14.1 A) Be requested by a Client.
14.1 B) Be prompted by information submitted to the CAB by Clients as part of their contractual obligations.
14.1 B) i. The CAB may require the Client to provide additional information to determine whether the proposed change requires a CAB audit
14.1 C) Become apparent during CAB audit activities.
14.1 C) i. The lead auditor shall decide whether it is necessary to contact the CAB to establish if the change can be evaluated at during this ongoing audit or if it requires an additional audit.
Scope Extension Audits
14.2 If an audit is required as determined in Requirement 14.1, this may be conducted as an additional CAB scope extension audit or carried out as part of a CAB routine audit where this aligns with the Client's audit cycle.

14.2.1 The audit shall be treated as an initial CAB audit and shall follow the initial audit requirements in this document.
14.3 If the CAB determines that an audit is not required, the CAB shall maintain a record of the rationale for this determination.
14.4 The CAB’s Certifiers shall decide on the approval of a certificate scope extension based on all information provided and where applicable, additional information related to the associated scope extension audit.
14.5 If the CAB determined a proposed change requires a reduction to the scope of certification, the CAB may conduct an audit.
14.6 The CAB’s Certifiers shall decide on the approval of the scope reduction based on all information provided including information related to the associated audit, if conducted.
Adding Certified Sites to an ASC Certificate
14.7 Sites with valid ASC certification may be added to the scope of an existing valid Multi-site certificate without a CAB audit if:
14.7 A) There are no open major or critical non-conformities
14.7 B) There is less than 12 months between the last CAB audit and the next scheduled CAB audit under the scope of the existing multi-site certificate.
14.8 Sites with valid ASC certification may be added to the scope of an existing valid group certificate for the same Certificate Holder without evidence of a satisfactory internal audit if:
14.8 A) There are no open major or critical non-conformities
14.8 B) There is less than 12 months between the last CAB audit and the date of the site’s inclusion under existing group certificate.
14.8 C) The sites hold certification with the same CAB, if not the CABs shall follow the requirements detailed in Section 11- Certificate Transfer Process.
14.9 The CAB shall ensure that subsequent audits under this existing certificate adhere to relevant CAR Requirements to ensure:
14.9 A The certification cycle is maintained.
14.9 B) There are no lapses in site audit timing.
14.10 The CAB shall ensure that subsequent audits under this existing Group certificate adhere to relevant ASC Requirements to ensure:
14.10 A) Additional sites are included in the total number of sites for sampling.
14.10 B) There are no lapses in the Group’s internal audit timing of these additional sites.
Adding New Applicant Sites to an ASC Certificate
14.11 New applicant sites8 shall be added to an existing valid certificate only after a CAB audit has been conducted of the site and all open major or critical non-conformities are considered closed by the CAB.
14.12 New applicant sites shall be added to an existing valid group certificate only after the Client has conducted a satisfactory internal audit of the site and all open major or critical non-conformities are considered closed by the CAB.

14.13 If annually, starting from the initial certification date, the Client submits a request to increase the number of sites within a Group by more than 5 or more than 10% of the total number or existing sites (whichever is smaller), the CAB shall conduct an audit of a sample of these
sites following the sample requirements in Requirement 3.14 and Requirement 3.15.
14.13.1 The additional sites shall be added to the certificate only after the sample of audits has been conducted and all open major or critical non-conformities are considered closed by the CAB.
14.14 Large scale production sites are not eligible for sampling by the CAB. These types of sites shall be added to an existing valid Group - Option 2 certificate only after a CAB audit has been conducted of the site and all open major or critical non-conformities are considered closed by
the CAB.
Removing Sites from an ASC Certificate
14.15 The CAB shall follow the requirements detailed in Section 13 – Cancellation, Suspension, and Withdrawal of Certification when removing sites from a valid ASC Certificate.
15 Changes Affecting Certification
15.1 When ASC releases new or revised ASC requirements that may affect the Client, the CAB shall ensure these changes are communicated to all Clients within 14 days from the issue date.
15.1.1 The CAB shall retain evidence of this communication.
15.2 The CAB shall verify the implementation of these changes by its Clients as required by ASC.
16 ASC Label Use
16.1 The CAB shall inform Clients who have been granted ASC certification that:
16.1 A) ASC-certified entities shall only use the ASC label, claim, and trademarks if authorised through a signed Licence Agreement.
16.1 B) Unauthorised label display or use of trademarks is prohibited and will be treated as a trademark infringement.
16.1 C) They have a right to claim, subject to their scope of certification, their UoC is certified in accordance with the relevant ASC standard.
16.1 D) They are eligible to apply for an ASC License Agreement by contacting [email protected].
Appendix A Acronyms
Appendix B Terms and Definitions
All terms and definitions are published in the ASC Vocabulary Portal.
Appendix C Non-Conformities
Table C1 Definitions of Non-Conformities
Table C2 Definitions of Non-Conformities for Group IMS Audits
Table C3 Non-Conformity Closure Timeframes
Appendix D Certification Process
Table D1 Certification Decision Due Dates and Major Non-Conformity Extensions for Initial, Surveillance, and Re-Certification Audits
Table D2 Summary of Reporting Timelines for Initial, Surveillance, and Re-Certification Audits
Appendix E Competency Requirements
Table E1 Auditor Competencies Applicable to All Auditor Roles
Table E2 Auditor Competencies Applicable to Environmental Auditors, Technical Auditors, Environmental Auditors with Social Qualifications
Table E3 Competencies Applicable to Auditors Acting in a Lead Auditor Role
Table E4 Auditor Competencies Applicable to Farm Environmental Auditors
Table E5 Auditor Competencies Applicable to Farm Environmental Auditor with Social Qualifications
Table E6 Auditor Competencies Applicable to Feed Technical Auditors
Table E7 Auditor Competencies Applicable to all Farm and Feed Social Auditors
Table E8 Competencies Applicable to Management Systems Auditors
Table E9 Competencies Applicable ASC CAB Programme Managers
Table E10 Competencies Applicable to CAB ASC Technical Reviewers
Appendix F Certification Agreement
***This section is under development. ASC will request feedback from CABs later in 2024***
Table 1: Requirements for Single-site and Multi-site Certification Types for ASC Farm and Feed Certification

Certification Type

Req. Single Site

The Client’s unit of certification (UoC) consists of one site.

2 The Client shall be capable of signing a binding contract that is legally enforceable.
3 The Client shall be the only entity authorised to sell ASC certified product.
4 The site(s) shall be owned by the Client or can be sub-contracted; the Client shall retain ownership of the ASC product until it is sold outside the UoC
5 Farm- The site shall have clearly defined boundaries as described in the associated legal licenses and permits and may include multiple pens, cage
raceway systems
Feed-The or beds.
production site and any associated facilities shall have defined location and area.
6
7 All sites in the UoC shall operate within the same country.
es for ASC Farm and Feed Certification

Certification Type

Multi-site

The Client’s UoC consists of more than one site, without a central internal
management system (IMS).
All sites within the UoC shall be selected for every routine CAB audit
against the relevant ASC Standard.

y enforceable.
duct.
e Client shall retain ownership of the ASC product until it is sold outside the UoC.
the associated legal licenses and permits and may include multiple pens, cages, ponds, tanks,
fined location and area.
Table 2: Requirements for Group Certification Types for ASC Farm Certification

Certification Type

Req Group Option 1

The Client’s unit of certification (UoC) consists of more than one farm site, with a single
1
internal management system (IMS) which is managed by a Central Management Body (CMB).

The IMS shall be audited at every routine CAB routine audit.

A sample of sites within
the UoC shall be selected for every routine CAB audit against the ASC Farm
2 Standard.

The Client shall identify a CMB with a defined location, which is not necessarily the
headquarters of the organisation.
3
The group management function shall not be sub-contracted to an external organisation

4 The Client shall be capable of signing a binding contract that is legally enforceable.
5 The Client shall be the only entity authorised to sell ASC certified product.

The sites shall be owned by the Client or can be sub-contracted; the Client shall retain
6
ownership of the ASC product until it is sold outside the UoC.

The site shall have clearly defined boundaries as described in the associated legal licenses and permits and may include multiple pens, cages, ponds, tanks, ra
7 beds.

All sites in the UoC shall operate within the same jurisdiction or within neighbouring jurisdictions that share relevant common regulations.
8

The CMB shall be in charge of managing the UoCs central IMS (Internal Management System) and of assuring the compliance against ASC requirements of all s
9
 Group Option 2

The Client’s unit of certification (UoC) consists of more than one farm site, with a
single internal management system (IMS) which is managed by a Central
Management Body (CMB).

The sites are predominantly small- scale producers, a small number of large-scale
producers can be included in the UoC.

The IMS shall be audited at every CAB routine audit.

A sample of the sites within the UoC (sites classified as small-scale

producers) shall be selected for every routine CAB audit against the ASC
Farm Standard.

All sites under the UoC that are classified as large-scale producers shall
be selected for every routine CAB audit against the relevant ASC
Standard.

The Client is the CMB. The CMB shall be a legal entity or a statutory body within
a larger legal entity, or another form of legally recognised (registered with a
government office) organisation.

The CMB shall have a defined location, which is not necessarily the headquarters
of the organization.
The group management function shall not be sub-contracted to an external
organisation.

ble.

The sites shall be;

Contracted under a Contract Farming Agreement between a Contract Farmer and

the Client (CMB). In these cases, the contract farmer owns the ASC product and
shall sell the ASC product to the Client before the Client can sell the ASC certified
product outside the UoC.

If the contract farmer sells the site's product directly to another third
party, the product cannot be sold as ASC certified.
Contract Farmers can be responsible for the operation of either single or
multiple small-scale production sites.

al licenses and permits and may include multiple pens, cages, ponds, tanks, raceway systems or

ing jurisdictions that share relevant common regulations.

ment System) and of assuring the compliance against ASC requirements of all sites within the UoC.
Appendix A Acronyms

Acronym

AB

ASC

CAB

CAR

CMB

GIS

IAS

ICT

IEC

IMS

ISO

NC

UoC

WGS
Appendix A Acronyms

Term

Accreditation Body

Aquaculture Stewardship Council

Conformity Assessment Body

Certification and Accreditation Requirements

Central Management Body

Geographic Information System

Ingredient Accounting System

Information Communication Technology

International Electrotechnical Commission

Internal Management System

International Organisation for Standardisation

Non-Conformity

Unit of Certification

World Geodetic System

Table C1: Definitions of Non-Conformities

Grade

Critical

Major

Minor
ble C1: Definitions of Non-Conformities

Definition

· Employees’ lives are evidently at risk.

· Failure to conform to an indicator where the critical non-conformity grade is specifically prescribed in the ASC Standard

Farm Standard Specific Requirements

A banned substance or ASC prohibited veterinary medicine is detected in product samples collected by:

· ASC or ASC's designated agent, OR

· ASC's appointed assurance services provider OR

· The CAB

Feed Standard Specific Requirements

There are sales of either:

· Non-ASC products as ASC Compliant Product, OR

· Non-eligible Ingredients within a Segregation Production Model

· Product, OR

· The Ingredient Accounting System is demonstrated to be overdrawn at 2 consecutive audits.

· Where there is a substantial failure which is likely to have a significant impact on conformity to ASC requirements.

· The failure results in the absence or total breakdown of a system or process and is highly likely to materially reduce the ability to
assure the integrity of the certified product

· The failure is persistent and recurs over time (may be due to non-closure or ineffective closure of previous non-conformities)

· The failure is systemic.

· There is repeated and wide-spread failure (generally due to a failure or weakness in an overarching system)

· Failure to conform to an indicator where the Major non-conformity grade is specifically prescribed in the ASC standard.

· A minor non-conformity was raised at the previous audit for the same indicator under the same circumstances.

· Where there is failure which does not have a significant impact on conformity to the ASC requirements.

· The failure does not result in the total breakdown of a system or process.

· The failure is isolated or due to a single observed lapse of conformity to a requirement.

· The impacts of the failure are limited in temporal and spatial scale.
Table C2: Definitions of Non-Conformities for Group IMS Audits

Grade

Group Critical

Group Major
able C2: Definitions of Non-Conformities for Group IMS Audits

Definition

· Where there is a severe failure of the Group’s IMS resulting in a critical failure of the Group to conform to ASC requirements.

· The failure results in a severe, systemic failure of the sites within the UoC to conform to the requirements of the ASC Farm
Standard

· Where there is a failure of the Group’s IMS which is likely to have a significant impact on the Group’s conformity to the ASC
Requirements

· The failure results in the absence or total breakdown of a central system or process which is integral to the Group 's conformity to
the ASC Group Internal Management System (IMS) requirements.

· The failure has the potential to have a systemic impact on the conformity of a number of sites within the UoC against the ASC Farm
Standards
Table C3: Non-Conformity Closure Timeframes

Detected During Initial CAB Audit The Validity Period of an ASC Certifica

NC Grade Critical Major Minor Critical

1. Initial closure timeframe
from NC Detection Date 3 months 3 months

2. Extension period

Not permitted 9 months Not permitted

3. Max extended timeframe

from NC Detection Date

N/A 12 months N/A

4. Urgent Lead Auditor Actions Notify CAB within 24 hours of Notify CAB within 24 hours of
detection detection
5. Urgent CAB Actions Verify critical NC grading within Verify critical NC grading within
24 hours of notification. 24 hours of notification and
suspend the certificate.

N/A
6. Urgent CAB Actions - Verify critical NC grading within Verify critical NC grading within
Prescribed Critical NC 24 hours of notification and 24 hours of notification and
implement sanctions as per withdraw the certificate.
Standard.

7. CAB Actions if NC is not

closed or extended within Classify the audit as a failed audit. Certification is not awarded, and a full re-audit is
Withdraw the certificate.
timeframe in 1. required
The Validity Period of an ASC Certificate

Major Minor

3 months

3 months 9 months

6 months 12 months

N/A

Upgrade to major NC with NO

Suspend the certificate.
extension permitted.
Table D1: Certification Decision Due Dates and Major Non-Conformity Extensions for Initial, Surveillance, and Re-Certification Audits

Audit Type Certification Decision Date Description

Initial

Surveillance Within 6 months from the audit end

6 months (maximum period)
date (Closing Meeting)

Re-Certification
ce, and Re-Certification Audits

Major NC Extension Permitted?

NOT permitted

3 Month Major NC Extension

3 Month Major NC Extension

Table D2: Summary of Reporting Timelines for Initial, Surveillance, and Re-Certification Audits

Step Task Whom Audit Type Days

1 Audit Announcement Submission CAB All 42

Update Audit Announcement

2 ASC All 5
Status

3a NC Summary submission CAB Surveillance 28

3b Desk Review Form Submission CAB Surveillance 28

4a Draft audit report submission CAB Initial and Re-Certification 42

4b Desk Review Form Submission CAB Initial and Re-Certification 42

5 Publish draft audit report ASC Initial and Re-Certification 7

6 End of Public Comment Period CAB Initial and Re-Certification 21

Final audit report submission

7a CAB Initial and Re-Certification 28
with Certification Decision

Final audit report submission

7b CAB Surveillance 98
with Certification Decision

Publish final audit report and

8 ASC All 7
certificate
fication Audits

Description

Minimum 42 days before audit

start date

Published by ASC

Within 28 days from audit end

date

Within 28 days from audit end

date

Within 42 days from audit end

date.

Within 42 days from audit end

date

Published by ASC

21 days after the publication of

the draft audit report

Within 28 days from the end of

the public comment period

Within 98 days from audit end

date

Published by ASC
Table E1: Auditor Competencies Applicable to All Auditor Roles
This table is applicable to all the CABs ASC Auditors:
· Environmental Auditors
· Environmental Auditors with Social Qualifications
· Management System Auditors
· Social Auditors
· Technical Auditors

Qualification/ Competency

1 Auditor Witness Assessment

2 Auditor Rotation

3 Language Skills

4 Attributes

Programme Specific
5
Training
encies Applicable to All Auditor Roles
e CABs ASC Auditors:

with Social Qualifications

ditors

Requirement

The CABs shall have an effective process which ensures auditors are successfully witnessed by the CABs ASC auditor with the
required competency at least once every four years to verify competence and maintain auditor approval.

The CAB shall not assign the same auditor to audit a UoC for more than six consecutive calendar years.

Working language skills in the primary local language of the UoC being audited. This shall include knowledge of the technical
terminology used in this language.

If this is not the case, the audit team shall be accompanied by an independent interpreter.

Possess the attributes described in clauses 4, 7.2.2 and 7.2.3.2.a in ISO 19011.

Successful completion of:

1) ASC Online training for the Certification and Accreditation Requirements.

2) ASC auditor training courses.

3) Completion of ASC update training for new requirements within the deadlines specified by ASC.

** ASC intends to develop in house CAB Group Training**

Table E2: Auditor Competencies Applicable to Environmental Auditors, Technical Auditors, Environmental Auditors with Social Qualificati

This table is applicable to the CABs:

· Environmental Auditors
· Environmental Auditors with Social Qualifications
· Technical Auditors

Qualification/ Competency

Auditor Qualifications /
6
Training
tencies Applicable to Environmental Auditors, Technical Auditors, Environmental Auditors with Social Qualifications

CABs:

with Social Qualifications

Requirement

· Successful completion of an ISO based Lead Auditor training course that has a minimum duration of 37 hours.

· The certificate shall specify the course content and duration.

· Successful completion shall be indicated on the certificate.

· The Lead Auditor training course shall cover:

· Applicable standards on quality auditing

· Auditing techniques

· Focus of the audits (psychological aspects and communication)

· Reporting

· A practical case study.

· Recognised certificates include:

· ISO 9001

· ISO 14001

· ISO 22000

· BRC Global Lead auditor

Table E3: Competencies Applicable to Auditors Acting in a Lead Auditor Role
This table is applicable to the CABs:
· Auditors acting as a Lead Auditor

Qualification / Competency

7 Specific Audit Experience

Applicable to Auditors Acting in a Lead Auditor Role
CABs:
d Auditor

Requirement

Audit experience to demonstrate the competencies described below:

A) Plan the audit and assign audit tasks according to the specific competence of individual audit team members.

B) Develop and maintain a collaborative working relationship among the audit team members.

C) Manage the audit process, including:

D) Making effective use of resources during the audit.

E) Achieving audit objectives.

F) Directing the audit team members, technical experts and interpreters.

G) Coordination and collation of audit findings.

H) Preventing and resolving conflicts and problems that can occur during the audit as necessary.

I) Represent the audit team in communications with the Client.

J) Prepare the audit report in conjunction with the audit team.

Table E4: Auditor Competencies Applicable to Farm Environmental Auditors
This table is applicable to the CABs:
· Environmental Auditors

Qualification/ Competency

Formal Qualifications /
8
Industry Experience

9 Specific Auditing Experience

Witnessed Audit
10
Requirements (Onboarding)

11 Minimum number of audits

tencies Applicable to Farm Environmental Auditors
CABs:

Requirement

1A) At least a post-high school diploma or equivalent (minimum course duration of two years) obtained in a discipline related to
aquaculture or environmental sciences

AND

1B) At least two years of practical work experience in aquaculture operations (including aquaculture audits)

OR

2A) At least Four years industry experience working in aquaculture or environmental sciences.

AND

2B) One year experience producing or auditing the relevant sub scope (i.e. production system: marine cage, ponds, RAS)

A) Minimum of ten days of on-site audit experience in conducting second, or third-party audits of aquaculture organisations against
either environmental or aquaculture standards OR

B) Actively participated as a trainee environmental auditor in at least three ASC farm audits.

Completion of at least one satisfactory Farm Standard audit witnessed by the CAB’s competent ASC Environmental auditor before final
approval.

At least two ASC Farm audits annually.

Table E5: Auditor Competencies Applicable to Farm Environmental Auditor with Social Qualifications
This table is applicable to the CABs:
· Environmental Auditors with Social Qualifications

Qualification/ Competency

Formal Qualifications /
12
Industry Experience

13 Specific Auditing Experience

Witnessed Audit
15
Requirements (Onboarding)

16 Minimum number of audits

etencies Applicable to Farm Environmental Auditor with Social Qualifications
CABs:
with Social Qualifications

Requirement

As per ASC Farm Environmental Auditor Competency Requirements.

Completion of at least at least two satisfactory ASC social audits witnessed by the CABs competent ASC social auditor before final
approval.

At least two audits against ASC social criteria or other industry recognised social standard annually.
Table E6: Auditor Competencies Applicable to Feed Technical Auditors
This table is applicable to the CABs:
· Feed Technical Auditors

Qualification/ Competency

Formal Qualifications /
17
Industry Experience

18 Specific Auditing Experience

Witnessed Audit
20
Requirements (Onboarding)

21 Minimum number of audits

tencies Applicable to Feed Technical Auditors
CABs:

Requirement

1A) At least a post-high school diploma or equivalent (minimum course duration of two years) obtained in a discipline related to Feed
manufacturing / Milling / Animal nutrition

AND

1B) A minimum of two years’ practical industry / work experience relevant in a feed / animal nutrition related discipline in a production /
manufacturing environment

OR

2A) A post-high school diploma or equivalent (minimum course duration of two years) in a discipline related to food manufacturing

AND

2B) A minimum of three years’ industry experience either in a practical capacity in a feed mill or in a technical production management
role in a production / manufacturing environment.

AND

2C) Experience in conducting or auditing risk assessments. (E.g., food, feed safety or environmental risk assessments). Experience
can take the form of positions held, (E.g., positions in quality assurance, production, feed safety, product inspection, plant manager, etc.).
It could also be previous experience in auditing.

A) Minimum of ten days on-site audit experience conducting second, or third-party audits of manufacturing facilities against animal feed,
food safety or environmental third-party certification audits

OR

B) Actively participated as a trainee technical auditor in at least two ASC feed audits

1) Completion of at least one satisfactory ASC Feed Standard audit witnessed by the CAB’s competent ASC Technical auditor before final
approval

At least one ASC Feed audit annually

Table E7: Auditor Competencies Applicable to all Farm and Feed Social Auditors
This table is applicable to the CABs:
· Social Auditors

Qualification/ Competency

20 Specific Auditing Experience

Witnessed Audit
21
Requirements (Onboarding)

23 Minimum number of audits

tencies Applicable to all Farm and Feed Social Auditors
CABs:

Requirement

Participated as an active audit team member in at least five third-party audits for one or more of the following schemes, at least two of
which are audits of primary production (Farm Social Auditor) or manufacturing 9 (Feed Social Auditor) facilities:

Amfori (Business Social Compliance Initiative - BSCI)

Ethical Trading Initiative (ETI) Base Code (including SEDEX SMETA)

Fair Trade USA

Fairtrade International (FI)

Goodweave (Rugmark)

International Council of Toy Industries (ICTI) – Code of Business Practice

Social Accountability International (SAI) SA 8000

Worldwide Responsible Apparel Producers (WRAP) – Code of Conduct

ASC audits that include full assessment of social indicators.

Completion of at least one satisfactory social audit witnessed by the CAB’s competent ASC social auditor before final approval.

At least two audits against ASC social criteria or other industry recognised social standard annually.
Table E8: Competencies Applicable to Management Systems Auditors
This table is applicable to the CABs:
· Management Systems Auditors for Group Certification

Qualification/ Competency

24 Specific Auditing Experience

Applicable to Management Systems Auditors
CABs:
Auditors for Group Certification

Requirement

Minimum of ten days of on-site audit experience in conducting third-party Management System audits
Table E9: Competencies Applicable ASC CAB Programme Managers
This table is applicable to the CABs:
· Programme Managers that oversee the ASC programme

Qualification/Competency

Training
Applicable ASC CAB Programme Managers
CABs:
that oversee the ASC programme

Requirement

A) Participate in the annual update and calibration sessions organised by ASC.

B) Complete the Online training for ASC Certification and Accreditation Requirements (CAR)
Table E10: Competencies Applicable to CAB ASC Technical Reviewers
This table is applicable to the CABs:
· Technical Reviewers reviewing ASC Feed and ASC Farm audit reports

Qualification/Competency

Initial Competency

Farm Standard

Auditor Training

Audit Experience

Feed Standard

Auditor Training

Audit Experience
Applicable to CAB ASC Technical Reviewers
CABs:
viewing ASC Feed and ASC Farm audit reports

Requirement

A) Has met the requirements of educational and industry work experience as per auditor qualifications (i.e., Environmental/Technical or
Social auditor requirements).

B) Has conducted the relevant ASC auditor training (as per auditor training)

C) Conducted one on-site shadow

A) Is a qualified ASC Environmental Lead Auditor or

B) Lead Auditor for any other aquaculture program which includes environmental and social criteria.

A) Has conducted more than 20 ASC Standard technical reviews or

B) Other aquaculture programs which include environmental and social criteria.

A) Is a qualified ASC Feed Lead Auditor or

B) Lead auditor for any other animal feed manufacturing programme which includes environmental and social criteria

Has conducted technical reviews for other animal feed programmes which include environmental and social criteria.